Click here to load reader

PROCUREMENT POLICIES AND PROCEDURES - Procurement Policies Revised: February 23, 2017 - 1 - Table of Contents INTRODUCTION 2 I. GENERAL CONSIDERATIONS

  • View
    217

  • Download
    2

Embed Size (px)

Text of PROCUREMENT POLICIES AND PROCEDURES - Procurement Policies Revised: February 23, 2017 - 1 - Table...

  • PROCUREMENT

    POLICIES AND PROCEDURES

  • NADB Procurement Policies Revised: February 23, 2017

    - 1 -

    Table of Contents

    INTRODUCTION ............................................................................................................................... 2

    I. GENERAL CONSIDERATIONS ............................................................................................. 2

    Borrower/Grantee Responsibility ................................................................................................ 2

    Planning ................................................................................................................................................... 2

    Applicability ........................................................................................................................................... 3

    Eligibility ................................................................................................................................................. 3

    Advance Contracting and Retroactive Financing .................................................................... 4

    Misprocurement ................................................................................................................................... 4

    Unethical Practices, Debarment and Certification ................................................................. 5

    Banks Role in Resolution of Procurement Disputes ............................................................. 6

    II. PUBLIC SECTOR OPERATIONS GOODS AND WORKS .............................................. 7

    Definition and Applicability............................................................................................................. 7

    Applicable Procurement Arrangements ..................................................................................... 7 General ........................................................................................................................................... 7 Modifications, Monitoring and Review .............................................................................. 8

    Notification and Advertising Requirements ...........................................................................10

    Publication of the Award of Contract ........................................................................................10

    III. PUBLIC SECTOR OPERATIONS CONSULTANTS ...................................................... 10

    Definitions ............................................................................................................................................10

    Applicable Procurement Arrangements ...................................................................................11 General .........................................................................................................................................11 Modifications, Monitoring and Review ............................................................................11 Conflict of Interest ...................................................................................................................12

    NADB Monitoring and Review .....................................................................................................13

    Notification and Advertising Requirements ...........................................................................14

    IV. PRIVATE SECTOR OPERATIONS GOODS, WORKS AND CONSULTING SERVICES ............................................................................................................................. 15

    Definition ..............................................................................................................................................15

    Application of Policies .....................................................................................................................15

    Methods of Procurement ................................................................................................................15

    Procurement under PPP, BOO/BOT/BOOT, EPC, Concessions and Similar Private Sector Arrangements ....................................................................................................15

    Procurement in Loans to Financial Intermediaries .............................................................16

    Conflict of Interest .............................................................................................................................16

  • NADB Procurement Policies Revised: February 23, 2017

    - 2 -

    INTRODUCTION The purpose of this document is to inform those carrying out projects (including technical assistance projects) that are financed in whole or in part by a loan or grant from the North American Development Bank (NADB) (or funds administered by NADB to which NADBs procurement policies apply) of the policies that govern the procurement of goods, works, and consulting services required for such projects. Section 1 describes general principles and considerations that are applicable for all operations. Section 2 outlines procedures for procurement of goods and works for operations involving the public sector. Section 3 outlies procedures for procurement of consulting services for operations involving the public sector. Section 4 outlines procedures for procurement for operations involving the private sector.

    I. GENERAL CONSIDERATIONS Borrower/Grantee Responsibility 1.1. The responsibility for the implementation of the project, and therefore all aspects of the procurement process, including the award and administration of contracts under the project, rests with the Borrower or Grantee. NADB, for its part, is required by Article III, Section 8(b) of Chapter II of its Charter to take the necessary measures to ensure that the proceeds of any loan made, guaranteed, or participated in, or any grant made by the Bank are used only for the purposes for which the loan was granted, or the grant was made, with due attention to considerations of economy and efficiency. While in practice the specific procurement rules and procedures to be followed in the implementation of a project depend on the particular case, NADBs primary concern is to promote economy, efficiency, fairness and transparency in the procurement process. Sound procurement policies and practices grounded in open competition help to ensure successful and sustainable project implementation and operation. 1.2. A loan or grant agreement governs the legal relationship between the Borrower or Grantee and NADB, and these policies are made applicable to procurement of goods, works and consulting services for the project as provided in such loan or grant agreement. The rights and obligations of the Borrower or Grantee and the providers of goods, works or consulting services for the project are governed by the bidding documents, requests for proposals and the contracts signed by the Borrower or Grantee with the providers of goods, works or consulting services, and not by these policies or the loan or grant agreement. No party other than the parties to the loan or grant agreement shall derive any rights therefrom or have any claim to loan or grant proceeds. Planning 1.3. Sound planning of procurement is crucial to project success. As early as possible in its process of preparing a project for potential NADB loan or grant financing, a

  • NADB Procurement Policies Revised: February 23, 2017

    - 3 -

    prospective Borrower or Grantee shall discuss with NADB its procurement plan for the project, including: (a) the particular contracts for the goods, works, and/or services required to carry out the project; (b) the particular contracts for consulting services required to carry out the project; (c) the proposed methods for procurement of such contracts, and (d) the applicable NADB review procedures. Applicability 1.4. The procedures outlined in these policies apply to all contracts for goods, works or consulting services financed in whole or in part from NADB loans or grants or funds administered by NADB. For the procurement of those contracts for goods, works or consulting services not financed from an NADB loan or grant, the Borrower or Grantee may adopt other procedures. In such cases NADB shall be satisfied that the procedures to be used will fulfill the Borrowers or Grantees obligations to cause the related project to be carried out diligently and efficiently and/or will result in the selection of consultants who have the necessary professional qualifications to perform assignments in accordance with the relevant terms of reference. Eligibility 1.5. Funds from NADB loans or grants can be used for the payment of goods, works and consulting services contracted with firms or individuals from any country, regardless of whether the country is a member of NADB. Conditions for participation shall be limited to those that are essential to ensure the firms or individuals capability to fulfill the contract in question. 1.6. In connection with any contract to be financed in whole or in part from an NADB loan or grant, NADB does not permit a Borrower or Grantee to deny pre- or post-qualification to a firm or consultant for reasons unrelated to its capability and resources to successfully perform the contract, nor does it permit a Borrower or Grantee to disqualify any bidder or consultant for such reasons. Consequently, Borrowers or Grantees should carry out due diligence on the technical and financial qualification of bidders and consultants to be assured of their capabilities in relation to the specific contract. 1.7. As exceptions to the foregoing:

    a) Firms or consultants of a coun